Philip James Financial Services Ltd.

• Principal Place of Business

  Lark Rise

  Beech Grove

  Fulbrook

  Burford

  Oxfordshire

  OX18 4DE

  UNITED KINGDOM

  Phone

  +441993824680

  Web

  http://www.pjamesifa.com

• Complaints Contact

  Lark Rise

  Beech Grove

  Fulbrook

  Burford

  Oxfordshire

  OX18 4DE

  UNITED KINGDOM

  Phone

  +441993824680

• Buy-to-Let Mortgage Advice

• Buy-to-Let Mortgage Arranging

• P2P Lending Advice

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance)

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit

  Show 2 limitations Hide limitations

  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from: i) pension policies with a Guaranteed Annuity Rate (for the avoidance of doubt, this includes policies which are retirement annuity contracts with a minimum guaranteed income, where that income satisfies limb (b) of the Glossary definition of Guaranteed Annuity Rate); ii) defined contribution occupational schemes without safeguarded benefits.
  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Advice

  For Customer, Regulated mortgage contract

• Authorised to Operate

  Show 1 limitation Hide limitations

  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Mortgage Arranging

  For Customer, Regulated mortgage contract

• Buy-to-Let Start Date

• Buy-to-Let Status

• Credit Brokering

• Stockbroking

  For Commercial, Retail (Non-Investment Insurance), Non-investment insurance contracts, Structured Deposits

• Debt Advice

  Show 1 limitation Hide limitations

  • · Limited to debt counselling excluding giving advice about debt management plans. In this limitation “debt management plans” is defined as: “a non-statutory agreement between a customer and one or more of the customer's lenders the aim of which is to discharge or liquidate the customer's debts, by making regular payments to a third party which administers the plan and distributes the money to the lenders”.

• Mortgage Setup

  For Customer, Regulated mortgage contract

• Investment Setup

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Certificates representing certain security, Debenture, Government and public security, Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Structured Deposits, Unit, Warrant

  Show 1 limitation Hide limitations

  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Alice Louise Conway

  IRN AXC01095

  • [FCA CF] Client dealing (1 Jun 2023 to 12 Jul 2024)
  • [FCA CF] Functions requiring qualifications (1 Jun 2023 to 12 Jul 2024)
• Anne Elizabeth Hester

  IRN AEH00015

  • 20. Advising or arranging (bringing about) regulated mortgage contracts for a non-business purpose
  • [FCA CF] Functions requiring qualifications (since 16 Sep 2021)
  • [FCA CF] Client dealing (since 1 Aug 2021)
  • Appointed representative dealing with clients for which they require qualification (1 Aug 2021 to 16 Sep 2021)
• John Butterworth

  IRN JXB00186

  • [FCA CF] Functions requiring qualifications (16 Sep 2021 to 13 Dec 2024)
  • [FCA CF] Client dealing (9 Dec 2019 to 13 Dec 2024)
  • Appointed representative dealing with clients for which they require qualification (9 Dec 2019 to 16 Sep 2021)
  • CF30 Customer (17 Nov 2015 to 4 Nov 2021)
• Kendra Selzer-Smith

  IRN KXS00489

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 22 May 2023)
  • [FCA CF] Client dealing (since 17 Oct 2022)
• Louis Hammond

  IRN LXH31186

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Functions requiring qualifications (since 6 Jun 2025)
  • [FCA CF] Client dealing (since 1 Apr 2025)
• Nigel John Alexander Clark

  IRN NXC00170

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Dec 2024)
• Philip James Hanley

  IRN PJH00055

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • SMF16 Compliance Oversight (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
  • Responsible for Insurance Distribution (since 1 Oct 2018)
  • Responsibility for MCD Intermediation (since 19 Sep 2016)
  • CF30 Customer (18 Apr 2011 to 8 Dec 2019)
  • CF11 Money Laundering Reporting (18 Apr 2011 to 8 Dec 2019)
  • Responsible for Insurance Mediation (18 Apr 2011 to 30 Sep 2018)
  • CF1 Director (18 Apr 2011 to 8 Dec 2019)
  • CF10 Compliance Oversight (18 Apr 2011 to 8 Dec 2019)
• Sian Margaret MacInnes

  IRN SMN00011

  • [FCA CF] Functions requiring qualifications (16 Sep 2021 to 12 Jul 2024)
  • Appointed representative dealing with clients for which they require qualification (1 Mar 2020 to 16 Sep 2021)
  • [FCA CF] Client dealing (1 Mar 2020 to 12 Jul 2024)

• Anne Hester (no longer appointed)

  FRN 685383 · Appointed 8 Oct 2021 · Until 1 Nov 2021

• Sian MacInnes (no longer appointed)

  FRN 943456 · Appointed 21 Jan 2021 · Until 1 Nov 2021

• John Butterworth (no longer appointed)

  FRN 716343 · Appointed 10 Sep 2015 · Until 8 Nov 2021

No changes recorded yet.